ARTHUR J SPRINGER

ARTHUR J SPRINGER is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 135 CROSSWAYS PARK DRIVE, SUITE 104, WOODBURY, NY, 11797.

ARTHUR J SPRINGER has worked at RAYMOND JAMES & ASSOCIATES, INC. since November 03, 2017

Disclosure History

ARTHUR J SPRINGER has 1 Disclosure Event(s).

Date: November 09, 2007
Category: Customer Dispute
Allegations: AFTER INITIALLY MAKING A RESEARCH COMPLAINT THAT WAS DENIED BY THE FIRM, THE CUSTOMER SUBSEQUENTLY ALLEGED THAT SHE DID NOT PLACE THE SELL ORDER IN QUESTION, HER HUSBAND DID.
Settlement Amount: $4,000.00
Broker Comment: THE MATTER WAS SETTLED AS A BUSINESS DECISION AND TO AVOID THE COSTS AND UNCERTAINTY OF LITIGATION.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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